Kyle G. Kennedy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kyle Gregory Kennedy was a registered financial professional .
Kyle is a previously registered financial professional and started their career in finance in 1984. Kyle had worked at 11 firms and has passed the Series 63, Series 55, Series 7, Series 5, Series 3, Series 52, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2011 - August 19, 2014
ASG SECURITIES, INC.
January 13, 2009 - February 20, 2009
SPARTAN SECURITIES GROUP, LTD.
February 2, 2006 - December 8, 2006
SPARTAN SECURITIES GROUP, LTD.
November 7, 2003 - February 3, 2004
SPARTAN SECURITIES GROUP, LTD.
October 31, 2001 - January 14, 2002
SPARTAN SECURITIES GROUP, LTD.
June 9, 2000 - November 14, 2001
OLD DOMINION SECURITIES, INC.
November 30, 1999 - May 2, 2000
NOWTRADE, CORP.
January 6, 1999 - October 1, 1999
THE FIRST AMERICAN INVESTMENT BANKING CORPORATION
May 14, 1998 - March 3, 1999
PALM STATE EQUITIES, INC.
August 23, 1991 - April 6, 1993
MERCHANTS INVESTMENT CENTER, INC.
January 24, 1990 - August 20, 1991
ROBERT THOMAS SECURITIES, INC
September 22, 1988 - February 13, 1990
LEHMAN BROTHERS INC.
February 18, 1986 - September 28, 1988
UMIC, INC.
February 7, 1984 - February 22, 1986
SWINK & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/2/1999
Limited Representative-Equity Trader ExamSeries 5
Date: 5/19/1989
Interest Rate Options ExaminationCurrent Firm
ASG SECURITIES, INC.
CRD#: 44534 / SEC#: , 8-50730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FUGLER, MICHAEL ROY | VICE CHAIRMAN | 2947789 |
| VP PERFORMANCE TRUST | SHAREHOLDER | |
| CANTRELL, WILLIAM KEY | EVP CCO | 811596 |
| DEPELISI, JAMES | EVP COO | 2339793 |
| FISCHER, KAREN ZILLIA | FIN OP | 1708090 |
| LDV CONSULTING, INC. | SHAREHOLDER | |
| ROBINSON, WILLIAM CARL | TRUSTEE, VPPT | |
| SCILLIA, MICHAEL VINCENT | DIRECTOR, CHAIRMAN, FINRA EXECUTIVE REPRESENTATIVE | 416774 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
